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Yyyyyy x. yyyyyy

0000 xxxxxx xxxx , xxxx , xxxxx 00000 ● (xxx-xxx-xxxx ●


Senior Compliance Officer Financial Services Industry

Corporate Governance ~ Operations Management ~ Restructuring ~ Client Relationship Management

Staff Training & Leadership ~ Outsourcing ~ Best Practices ~ Policy Development ~ Quality Assurance


Executive Profile


         Certified Anti-Money Laundering Associate offering proficiency in regulatory compliance, risk management, internal controls, audits, bank account reviews, investigations, due diligence, and report preparation.

  • Excel in researching, uncovering and analyzing complex data, choosing appropriate course of action, and reporting findings to top-level leadership and government authorities.
  • Advanced knowledge and understanding of BSA/AML (Bank Secrecy Act/Anti-Money Laundering), KYC (Know Your Customer), USA Patriot Act, FinCEN, and FINRA regulations.
  • Efficiently coordinate forward-moving projects while fostering an environment of accountability, compliance, continuous quality improvement, process automation, and cost containment.
  • Adept at staff training & development, performance management, and employee relations.

         Prior background includes success as a paralegal supporting a litigation practice as well as a U.S. Patent Trademark Law practice and procedures.


Professional Experience


Capital One Financial Corporation New York, NY, 2016 to Present

Compliance Senior Manager Commercial Bank Governance

         Methodically and accurately prepare quarterly compliance reports for senior management, audit and regulatory agencies, and generate monthly business reports to be shared at compliance and risk forum meetings.

         Scrutinize quarterly metrics to identify key risk indicators, systematically investigate open compliance exceptions, risk exposures, issues and events, and employed sharp critical thinking skills to document findings.

         Communicate regulatory changes to compliance officers and advisers, and join forces with local governance personnel, risk partners, and project management teams to implement seamless and efficient process changes.

         Review LOB compliance and enterprise-wide policies and procedures to ensure rigorous conformity to changes.

         Thoroughly examine audit findings, respond to requests for documentation identified in letters of notification, review MRAs and supervisory letters, and promptly distribute to impacted compliance team.


State Street Corporation Boston, MA, 2015 to 2016

Assistant Vice President Compliance Oversight Program

         Proficiently orchestrated M&S activities to control risk and achieve or surpass compliance goals.

         Critically reviewed project plans and risk assessments to provide compliance managers with meaningful data which can be leveraged to reveal trends and pinpoint areas for possible improvement.

         Facilitated annual risk assessment workshop and maintained up-to-date compliance policies and expectations.

         Prepared and presented regular reports for senior compliance officers.

         Examined KRI/KPI reports and delivered influential feedback to applicable business unit.


JPMorgan Chase & Co. Brooklyn, NY, 2013 to 2015

AVP / Senior Compliance Officer / Global Financial Crimes Investigator

         Reviewed and analyzed foreign correspondent banking transactions for suspicious activity and thoroughly investigated customer accounts, products and services to ensure compliance with regulatory requirements.

         Strategically conducted enhanced due diligence investigations of consumer, commercial and corporate accounts, customers, and non-customer accounts to verify strict adherence to compliance guidelines.

         Filed SAR reports (including initial and continuation filings), assessed SAR reporting for possible spin-off cases, provided recommendations, and submitted referrals to business units and regional groups for investigations.


Continued ►





         Completed and responded to 314(a) and (b) requests for information sharing.

         Trained, mentored, and guided junior investigators to ensure proper conformance to firm procedures regarding investigations, SAR reporting, and account review.

         Closely examined and edited or corrected junior investigators SAR reporting when necessary.


Royal Bank of Scotland Stamford, CY, 2006 to 2013

AML Operations Specialist (2010 to 2013)

         Steered transparent and efficient AML/KVC process for on-boarding of new and existing clients requests for new products and services, as well as general corporate lending products and services.

         Scrutinized entity formation documents and corporate lending documentation to ensure compliance.

         Liaised with front office and intra-company business group to solicit crucial data or elucidation of client/associated party relationships.

         Assembled specialized team to conduct customer background checks and administer appropriate level of customer due diligence review.

         Trained, coached and mentored junior analysts, delegated assignments, and inspected work products.


Team Lead, AML Operations of RBS Citizens Bank (2011 to 2012)

         Aligned and mobilized 25 analysts in the U.S. and Poland for subsidiary of The Royal Bank of Scotland Plc and a regional retail and commercial bank producing $11M annually.

         Led team in facilitating AML/KYC process for on-boarding of clients requests for new products and services for capital markets and commercial real estate as well as general lending products and services.

         Served as a strategic partner and trusted advisor to 10+ work groups and departments enterprise-wide.

         Resolved escalated issues, completed audits, identified trends, and implemented system improvements.


AML Compliance Analyst (2008 to 2010)

         Meticulously monitored accounts to ensure alignment with stringent BSA/AML policy requirements.

         Evaluated negative news reports, generated AML statements, supported on-boarding of new clients, and processed requests for additional products and services from existing client base.

         Compiled customer risk assessments while conducting due diligence on entities encompassing financial institutions, financial intermediaries, regulated/unregulated funds, broker/dealers and investment advisory firms.

         Trained, mentored, and directed team of 10 contractors in successful and timely remediation of 7,000+ accounts.

         Championed risk assessment process which enabled highly accurate customer categorization by risk.


Legal Assistant, Contract Manager, Corporate Governance Paralegal (2006 to 2008)

         Drafted documentation to create and dissolve domestic and foreign subsidiaries and affiliate s entities.

         Demonstrated sharp organizational skills in preparing regulatory filings, charters, resolutions, board meeting minutes, contracts and a wide range of formal agreements.

         Resourcefully introduced database to enhance tracking of company's licenses, contracts and regulatory filings.

         Managed 13 subsidiaries corporate filings and maintained minute books.

         Implemented e-invoicing software to drastically enhance efficiency and capture $25K+ in monthly savings.


Prior Background:


Executive Administrative Assistant, Brown Raysman Millstein Felder & Steiner, New York, NY, 2002 to 2006

Legal Secretary, Fish and Neave, 1998 to 2002

Paralegal, Speiser, Krause, Nolan & Granito, 1994 to 1998


Education & Credentials


Master of Business Administration, Accounting & Finance, Regis University, Denver, CO, 2004

Bachelor of Science, Paralegal Studies, Mercy College, Dobbs Ferry, NY, 1997

Intensive Financial Modeling and Valuation Training Program, Investment Banking Institute, New York, NY, 2013

Candidate, Master of Science of Law, Compliance & Risk Management, Private Wealth & Financial Services, Thomas Jefferson School of Law

Anti-Money Laundering Certified Associate


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